SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
The Securities and Exchange Commission recently issued a press release opening the registration for its compliance outreach program’s national seminar for investment companies and investment advisers. The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms enhance their compliance programs for the protection of investors.
The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and the Asset Management Unit of the Division of Enforcement jointly sponsor the compliance outreach program. The national seminar will be held on April 19 at the SEC’s Washington, D.C., headquarters from 8:30 a.m. to 5:30 p.m. ET. In-person attendance is limited to 500; a live webcast will be available at www.sec.gov.
Click here for the seminar agenda. Topics to be discussed include OCIE’s program priorities in 2016, private fund adviser issues, compliance, and rulemaking.
